DOCUMENT RESUME

ED 377 364 CE 067 803

AUTHOR McKnight, Claire E.; Rotter, NaomiTITLE A Regional Approach to Rail Transit Training for the

New York Metropolitan Area. Final Report.INSTITUTION Department of Transportation, Washington, D.C.REPORT NO DOT-T-92-08PUB DATE Jun 91NOTE 63p.

PUB TYPE Reports Research/Technical (143)

EDRS PRICE MFO1 /PCO3 Plus Postage.DESCRIPTORS Agency Cooperation; Articulation (Education);

Community Colleges; Comparative Analysis;* Cooperative Planning; *Driver Education; EducationalNLads; *Educational Planning; Educational Practices;Feasibility Studies; Needs Assessment; PostsecondaryEducation; *Rail Transportation; *Regional Planning;Unions; *Vocational Education

IDENTIFIERS *New York (New York Metropolitan Area)

ABSTRACTA study examined the feasibility of a regional

approach to rail transit training in the New York metropolitan area.First, case studies were collected to document existing trainingpractices at the five agencies currently responsible for trainingrail transit workers in the New York metropolitan area and toidentity mutual training needs that could be addressei on a regionalbasis. Next, innovative approaches used by other agencies werereviewed and possible means of sharing training were determined.Information obtained from interviews with personnel and reviews ofvarious documents established 15 skills/skill areas in which at least2 of the 5 agencies needed or wanted to expand training. Severalagencies also wanted to expand their training capabilities throughthe use of new educational technologies but had been prevented fromdoing so by budget constraints. The following were recommended asfeasible ways of adopting a regional approach to rail transittraining: periodic meetings of training managers to discuss currentproblems /solutions; exchange of training course catalogs andcross-registration; joint development of *_raining material; jointapplication for grants from tt; Departments of Labor, Transportation,and Education; and collaboration with community colleges as a groupto develop rail-related courses. (MN)

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U.S. Department ofTransportation

June 1991

A Regional Approach toRail Transit Training for theNew York Metropolitan Area

U S DEPARTMENT OF EDUCATIONOit CE 01 EO,W-Ona ROSO.PC" and ,gpc,en,e^'

EDUCATIONAL RESOURCES INFORMATIONCENTER (ERIC')

Id This document has been reproduced asreceived from the person or organizationoriginating II

Minor changes have been made toimprove reproduction Quality

Points of view or opinions stated in thisdocument do not necessarily representofficial OERI position or policy.

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2

A Regional Approachto Rail Transit Trainingfor the New YorkMetropolitan AreaFinal ReportJune 1991

Prepared by

Claire E. McKnightInstitute for Transportation Systems

and the City College of New York

and

Naomi RotterCenter for Transportation Studies

and ResearchNew Jersey Institute of Technology

Distributed in Cooperation with

Technology Sharing ProgramU.S. Department of TransportationWashington, D.C. 20590

DOT-T-92-08

3

ACKNOWLEDGEMENTS

This project would have not been possible without the manyhours that the people in the various agencies spent answering ourquestions. While we cannot list everyone, we would like to mentionthe people who helped the most.

At New Jersey Transit, we want to particularly thank. JoyMcGovern, Steve Klejst, and John Murgolo.

At PATH, we want to thank Maria Bordas. In addition, FredMyers at the Port Authority of New York and New Jersey was alsovery generous with his tine.

At Metro North Commuter Rail, we want to thank Mark Campbell.

At Long Island Railroad, we want to thank Harry Lynch and BobGrimesmann.

At New York City Transit Authority we want to thank Liz Loweand Phil Doran.

Executive Summary

The purpose of this project was to study the feasibility ofa regional approach to rail transit training in the New Yorkmetropolitan area and to recommend a means for implementing sucha cooperative training effort. The study had two parts. The firstpart was to study the existing training at the five agencies, todocument the training needs of each agency, and to determine mutualtraining needs that could be addressed on a regional basis. Thefive agencies are the New Jersey Transit Rail Division, the PortAuthority Trans-Hudson Corporation, Metro North Commuter Rail, LongIsland Railroad, and the New York City Transit Authority. Thesecond part was to determine possible means of sharing training,drawing on the literature and from innovative approaches by otherorganizations.

As a first step in the project, the study team met withrepresentatives of the training departments of the five agenciesas a group to explain the project to them, to get their reactions,and to get their views on their agency's training needs and whichof these would be best met regionally. The study team then metindividually with a liaison from each agency to get an overview oftraining at their agency. A two page checklist of information tobe obtained was used to guide the interviews, but other than thatthey were open-ended. When the case studies of training werecomplete, the identified training needs for each agency werecompared to determine the areas of mutual need. From the list ofthe mutual needs, those training areas that are the best suited toa regional approach were identified.

After the documentation of training at the five agencies, thestudy team visited other organizations to find innovativeapproaches to training, particularly training rail personnel.

The study team then generated several ideas on coordinatingor sharing training. The ideas were presented to the trainingrepresentatives from the live agencies in a group meeting. Theobject of the meeting was both to provide an opportunity for thetraining representatives to discuss the ideas, but also toimplement one of the ideas, specifically periodic meetings of theheads of the training departments to share problems and ideas, thatis, a form of networking.

One aspect of the timing of the project is important to theunderstanding of changes that have taken place. The first meetingson the project took place in early 1987. At the time the nationaland regional economies were both strong. Sol = of the ideas for acoordinated approach to training were quite long sighted; forexample, a regional institute for rail training was considered, aswere programs to develop interest in rail careers among minorityhigh school and junior high students. Since that first meeting,

both the national and regional economies are in recession and theStates of New Jersey and New York as well as most of the cities inthe region have severe budget deficits. Similarly, all five of theagencies have budget difficulties. As a result, the types of ideasthat are feasible for implementation in the near future havechanged to those with low cost or with immediate returns inimproved productivity or efficiency.

All of the rail agencies studied were part of larger regionalpublic transportation organizations. Each agency had a trainingdivision within the human resource department. The trainingdivision generally dated from shortly after the shift from theprivate to the public sector. All of the training divisions werestill expanding and the training managers had lists of courses orprograms that they planned to develop. In all of the agencies asubstantial amount of training, particularly technical training,was done outside the training division, mostly through on-the-jobtraining, but also through other departments, such as Safety orRules Departments. Long standing training programs that had beendeveloped in response to FRA regulations were often left in thedepartments that had originally developed them.

The extent of centralization of training within the trainingdivisions varied. In one agency, the training division dealtprimarily with management and supervisory training. In others itprovided all levels of training from laborer, through craft andtechnical, to managerial training. The amount of training providedto the various operating departments differed. Generally, thetransportation departments and equipment maintenance departmentshad the most extensive range of courses, and their employees tendedto receive the most training. The track maintenance departmentstended to receive the least.

For union-level positions, the agencies tended to promote fromwithin. At managerial levels, the agencies were more likely tohire from outside the agency and, for support departments (e.g.,personnel, MIS, contracts), outside the rail industry. Thedifferences in promotion and hiring policies for union andmanagerial level positions combined with the requirement of collegedegrees for higher level positions creates a discontinuum at thepoint of transition from union to managerial levels, which usuallyis at supervisory positions. Training managers and hcads ofoperating departments frequently mentioned supervisory training asa major need.

The unions were generally described as supportive of training.However, union contracts at all agencies interfered with sometraining initiatives. At one agency, the unions refused to allowtesting except in a few limited cases. At another agency, a unionhad opposed the implementation of an apprentice program. On theother hand, one union requested more training in order thatmaintenance of new equipment be done in-house rather than

ii

externally under contract.

None of the agencies had a systematic process of developingcourses and course curricula tied to agency objectives, documentedskill deficiencies, or identified career paths. Some of theagencies had previously conducted a training needs assessment, butnone of them had done one recently. No training manager mentionedorganizational goals as a basis for course development. Mostfrequently the contents of new courses were based on discussionswith department heads or developed around the purchases of newequipment. Formal training was a combination of in-house coursesby the agency's training department, in-house courses provided bytraining consultants or equipment vendors, and external programs.

The scheduling of courses was typically based on informaldiscussions with department heads. Some of the agencies scheduledcourses to occur after hirthg for specific positions. At otheragencies, the courses were offered to several employees at a timewhile only one or two were actually moving into a relevantposition. Therefore, some employees received training in advanceof their actual promotion into a position or after they had beenin the position for a while.

Selection of employees to be sent to training programs is

generally done by department heads and supervisors. The trainingmanagers did not know how the selections were made. A commonproblem was that people who were selected (or self-selected) totake part in a training course sometimes did not attend becausethey were needed in the department on the day of the course. Whilein a few cases this was due to emergencies, apparently it was morecommonly because no plans had been made to replace the employeeswhile they were in training. One response was to over book thecourses.

There were several personnel positions that all the agenciesmentioned having' trouble filling; for example, electricians andelectronics workers. The difficulty varied with the relative wagerates paid by the different commuter rail agencies. Severalagencies were developing extensive training programs or apprenticeprograms to address their needs for more people or greater skillsin these areas.

Evaluation of training was done primarily through traineesatisfaction or reaction sheets, that is, questionnaires filledout by the participants at the end of the course. Questionsconcerned the quality of instruction, the usefulness of thematerial, and the facilities. The training manager or coursedeveloper sometimes talked to supervisors or managers about thecourse after the first time it was offered. Two agencies hadformal annual performance appraisal programs for managers.

The training managers frequently expressed a desire to do a

iii

more comprehensive evaluation, but none of them had plans todevelop one. Given the small size of the training divisions,developing, implementing, and coordinating training left littletime for evaluation by training administrators.

Training needs can be divided into specific skills that needto be transmitted to the employees and the procedures and toolsthat the training departments use in order to train the employees.

Generally, common needs for specific skills where identifiedfrom the responses of the personnel who were interviewed or fromdocuments. In a few cases, the researchers interpreted the needsfrom other information. This was true, for instance, in the caseof train-the-trainer skills. Skills that two or more of the fiveagencies indicated that they needed or would like to expandinclude:

ManagementSupervisory skillsBasic skillsMath (more advanced math for specialized personnel)ElectronicsElectrical skillsMachinistsComputer skills for supervisors and craft personnelSignallingMicrowaveFiber opticsAC repairProperty management specific to stationsEnglish as a second languageTrain the trainer

The area that there was the most consensus about was the needfor more training in advanced electronics.

Some of the more serious needs are in the area of trainingmanagement, procedures, and tools. While these needs generallycannot be met jointly, the training managers can benefit bydiscussing with each other what they are doing.

Many of these types of needs result from lack of staff andbudget and the fact that often upper management and the operatingdepartments view training as a necessary but peripheral activity.One result is that the agencies do not have a systematic procedurefor developing courses and curriculum. New courses (and whencourses are offered) typically result from stated needs ofoperating managers. Training development is not tied to strategicor management goals and needs assessments are not systematicallydone. Thus a related need is greater ties to planning and thedecision processes in upper management and in the operating

iv

departments. For example, the training departments should beinvolved in plans to purchase new equipment.

Similarly, there is little systematic evaluation of thetraining. All of the agencies need to develop methods ofevaluating both the effectiveness of the training and the resultingskil. level of the trainees. In some cases, the agencies arehampered in the latter by union resistance.

The agencies also need to do more long range planning for thedevelopment of the work force. Two long range issues that need I

be given some consideration are the development or discovery a

labor pool from which to draw future workers and the develoi_.of career paths for the systematic internal promotion of employees.

Another need is a mechanism to increase union and workercooperation and involvement in training. The training departmentscould benefit through greater input from the floor on what skillsare needed. And by involving the workers and the union in planningand curriculum development, the training department will bebuilding better understanding of the advantages of training andevaluation to the individual as well as the organization. Oneresult of this understanding might be more acceptance of, if notactual support for, both training and evaluation.

A common problem the training departments have is excessive"no shows," in some cases reaching 50% of the personnel that havesigned up and confirmed for courses. This may be related toattitudes in the operating departments.

Some of the agencies have a need to match the timing ofcourses to the employees who need the training. Because of thesmall number of people who may need training in a specific skillat a given time, they may have personnel taking the course inanticipation of promotion or after they have been in a positionfor a year.

And finally, while some of the agencies see greatpossibilities in expanding their training capabilities through theuse of interactive video disks, the costs of development of thesoftware and videos inhibits a more rapid expansion in this area.To the extent that common IVDs can be used, the development costscan be shared between several of the agencies.

As a result of our training needs analysis, ourrecommendations for coordinating kept two criteria in mind: doesit fill a need that could not easily be met by anyone railroad andcould it could be easily effected. As a result fiverecommendations were made:

1. Periodic meetings of training managers to discuss current

problems and sclutions

2. Exchange catalogs of training courses and crossregistration

3. Joint development of training material (e.g., interactivevideo disks)

4. Joint application for grants from Department of Labor,Department of Transportation, Department of Ed-cation,etc.

5. Work with community colleges as a group to develop railrelated courses

Maximum benefits from a joint training program can he achievedthrough a rail agency/community college joint program withdedicated space on the college campus. Because of the widegeographic area covered by the five rail agencies, they mightdeveloped a partnership with a consortium of community colleges,for example, one each in Long Island, New York City, and northernNew Jersey.

However, at this time, this concept would appear to be severalyears away from implementation. Given the current budgetconstraints within the agencies, the training departments have theimmediate priorities of defending their existing programs.Programs that require large investments of money, even those withlarge future returns in increased productivity and quality of workforce, will not receive support from management. Further, the fiveagencies are used to working autonomously. Even the tl-ree MTAsubsidiary agencies have only begun to join forces on a few issues.Thus, an approach that allows the gradual development of acoordinated program is the recommended approach.

As part of this project, the first of the periodic meetingsof the training directors was held. Metro North hosted themeeting. The training representatives discussed the preliminaryrecommendations of this project, some of the problems theycurrently are dealing with, and recent training initiatives at eachof the agencies. The training representatives discussed all of thepreliminary recommendations (i.e., periodic meetings, exchange ofcatalogs, joint development of training material, jointapplications for grants, and working with communities colleges),but they showed the most interest in joint development of trainingmaterials, specifically in developing interactive Video Disksjointly. They agreed to call a special meeting to deal with thistopic specifically; the people within the agencies that deal withIVD would attend the next meeting, also to be hosted by MetroNorth.

A second outcome of the first meeting was the agreement tomeet again in the Fall. PATH volunteered to host the second

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10

general meeting. Thus, as this project is coming to its end, thefirst two steps in the long term plan have been taken.

In summary, the authors recommend that rail transit trainingdepartments develop a systematic approach to their total trainingprogram. In addition to offering training courses to meet thespecific skill deficiencies identified by supervisors and inresponse to new regulations, they should also tie training toorganizational objectives from top management. They shouldevaluate their training more rigorously. The evaluation shouldentail collecting quantitative data on before-training performance(e.g., miles per gallon data before training in fuel-efficientoperation or passenger complaints per week before a customerservice course) to compare with after training performance. Withpositive quantitative results from evaluation for one or twocourses, they should work to build not just support, but a firmcommitment both in top management and within the operatingdepartments. With the former the commitment should take the formof additional resources for training and evaluation; with the laterthe commitment should include the assurance that the departmentwill make provisions so that personnel can be sent to training.The training department should also work with the union to developa positive union attitude toward training and to develop skillsevaluation for all levels of employees.

In order for rail transit agencies to remain competitive andpermit them the flexibility that will be needed to deal with rapidchanges in the economy, the labor pool, and technologicaladvancement, training is becoming increasingly important. In orderfor training to properly fulfill its function of organizational andemployee improvement, evaluation is a critical component. Giventhe contradictory situation where education is failing to keep pacewith the increasingly sophisticated skills needed for employment,training should emerge as a strategy for success in the comingdecades.

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Chapter

Table of Contents

Executive Summary

Page

Introduction1.1 Objectives of Study 1

1.2 Background on training in rail 2

1.3 Study Approach 5

II Case Studies of Training in Regional Rail Agencies2.1 Overview 8

2.2 New Jersey Transit Rail Division 10

2.3 Port Authority Trans-Hudson Corporation 13

2.4 Metro North Commuter Rail 18

2.5 Long Island Railroad 22

2.6 New York City Transit Authority 24

III Training, Evaluation, and Innovations3.1 Models from the literature3.2 Innovations in Rail Training3.3 Mechanisms for Coordination

293335

IV Shared Needs of the Regional Rail Transit Agencies4.1 Commonalities in Training among the agencies 38

4.2 Common Training Needs 41

V Recommendations and Conclusions5.1 Benefits of Coordinated Training 44

5.2 A Long Term Plan 45

5.3 Progress So Far 47

5.4 Dissemination of Findings 48

References 49

Chapter 1: Introduction

1.1 Objectives of Study

In the New York metropolitan region, there are over 50,000people employed in rail transit in five separate public railagencies, including both heavy rail (sometimes called subway orrapid rail) and commuter rail. This represents approximately twothirds of all rail transit employees in the United States. Eachof these five agencies is struggling to provide quality servicewhile containing their costs.

Training is an important way to improve productivity,efficiency, and quality of service. However, it requires a majorcommitment of resources. While the improvements in productivityand efficiency would more than repay the cost of training in thelong term, transit agencies in general, but particularly thetransit agencies in the New York metropolitan region, are operatingunder severe budget constraints. This makes it difficult to investmoney in training which does not have an immediate payback. Thus,the dollars that are committed to training must be spent in waysto maximize their effect.

One way that these five agencies can stretch their trainingdollars is to combine forces in training. A combined or regionaltraining program would allow them to eliminate duplicate programs,to provide special training in areas where any one of the agenciesdoes not have enough people to warrant a program, to share thespecial expertise of specific trainers, and to purchase or developspecial equipment or programs that would be too costly for oneagency. On the other hand, there are difficulties with combiningtraining efforts. These include differences between agencies inequipment and procedures, cost (in money and time) of transportingemployees, timing of training courses to meet needs of individualagencies, and some loss of control over the training courses by

individual agencies.

The next section of this chapter provides some background onrail transit and training. The third section addresses the methodof tne study.

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1.2 Background on Training in Rail

Historic development

Training in rail transit agencies differs from training inmany other industries due partly to the historic development of

transit and partly to the difference in the workingenvironment. The five rail transit agencies in the New Yorkmetropolitan region were formed out of several older privatecompanies. Four of the five agencies in the study were formed fromlarger, intercity railroads that provided freight and passengertransportation. The fifth agency, New York City Transit Authority,was formed from several private (and one public) transit companies.

When the rail companies started operating in the early andmid 1800s, urban rail passenger service were profitable. However,in the twentieth century competition from the automobile cut intothe urban rail passenger market, making it unprofitable. The railcompanies were heavily regulated; fares, entry, and exit werecontrolled through either the ICC or the city. Finding itdifficult to adapt by raising fares or adjusting service, therailroads responded by disinvesting; that is, by deferringmaintenance and expending less time and management attention onimproving service or planning for the future.

As the rail companies either deteriorated or went bankrupt,the public became concerned that they would eventually lose railtransit service. In order to maintain transit service, which wasacutely needed in a region as densely developed as the New Yorkmetropolitan region, local and state governments took -ever theprivate companies. By the 1980s the five rail transit agencieshad been taken over by one of three different public transitagencies.

Under public ownership and operation, the five rail transitagencies have received more attention and both capital andoperating subsidies, resulting in major influxes of capital fornew equipment and facilities and improvements in managementincluding training. However, given the past decades of disinterestand disinvestment, the rail agencies still have a large need foradditional training.

The four rail transit agencies that developed from intercityrailroads share a common pattern of labor relations, largely aresult of historic patterns. The railroads were among the earliestindustries to develop on a large scale in the United States and asa result they developed their own labor relations environment.Rail unions developed early and they were craft rather thanindustry unions. As a result, a railroad would have many differentunions representing their employees. Thus four of the rail transitagencies have from 10 to 20 different unions. The New York CityTransit Authority, on the other hand, has one major union, the

2

Transport Workers Union (TWU).

Characteristics of rail labor

Working conditions for rail labor also differ from many other

industries in that many rail positions require working on boardtrains or along the right-of-way, either alone or in small groups.

Both situations make supervision difficult.

A shift in hiring practices has put a strain on traditionaltraining methods. In the past, a job with a railroad was highly

valued. The rail industry paid higher than average wages. Hiring

was usually done through relatives and friends. When a job wasavailable, a rail employee would bring in a son or nephew to apply

for the job. This resulted in a cohesive labor force. Frequently,

there was family pressure on the new employee to do well so as notto embarrass his father or uncle. Railroad families existed inwhich several generations would work for the same company.

By the time that public transit agencies began to take overrail service, this was changing. First, the sons of rail employees

were more likely to go to college and to seek careers in other

fields. Second, rail agencies had to meet equal opportunitypolicies, particularly because of their public nature. Hiring was

done on a more formal basis and the hiring of friends and relativesof existing employees (now called nepotism) was no longer an

acceptable policy. One result of these new hiring policies was

that the new labor force was less cohesive. In some agencies,there developed a split between the old guard, which tended to bewhite males and share a common loyalty to railroading, and the newemployees, who might be black or hispanic or female, and who sawworking for the railroad as just another job.

One of the traditions that rail transit inherited from itsprivate rail parents was the promotion of personnel from withinthe company rather than external hiring. This resulted in managersthat knew the rail industry and the internal operations extremelywell but frequently lacked managerial skills. Recently there has

been a trend toward hiring top management from other companies or

from other industries.

Rail transit agencies are faced with a shrinking labor pool,due to the small size of the population cohort that is now entering

the job market, as are other industries. In order to fill theirjobs, the agencies will have to tap less skilled and less educated

sources of labor. This will put new demands on their training

programs.

Finally, as is true with many industries, the skills neededin the rail industry are rapidly becoming more sophisticated asadvanced electronics and computerization are incorporated in manyaspects of the business, such as car components, central control,

3

15

and fare collection.

Training in rail

Training had been primarily on-the-job; a new hire would beassigned to work under an employee who had been with the railroadfor a while and who (it was assumed) would show the newcomer howto do his job. The advantage of on-the-job training was the lowcost for training. No separate training staff had to be hired andthere was no lost time (at least, none that appeared on the books)from employees being away from the job. However, manydisadvantages were incurred. First, the employee who is supposedto show the new hire how to do the job may not be doing itcorrectly or in the most efficient way for any of several reasons.He may have learned it incorrectly himself. Over time, he may havedeveloped his own (often poor) habits. New or better ways of doingthe job may have been developed since he started doing it.

Second, not all the po8sible situations that may occur mightactually occur during the period that the new hire is receivingthe on-the-job training. Therefore, the new employee may beunprepared for emergencies when he is on his own.

Third, the employee responsible for showing the new hire howto do the job may abuse his position by using the new hire as a"gofer" and not showing him how to do some of the procedures. Insome cases he may do this because he sees the new employee as athreat to his own job or promotion. When the new hire is of adifferent race or sex, the likelihood of this happening may be evengreater.

Finally, the employee responsible for training seldom has hadany instruction in hw to train new employees. While he may knowhow to do the job himself, he may not be able to explain it to thenewcomer.

The rail transit agencies are starting more formal trainingprograms to overcome these problems. Training that takes placeaway from the job site and is done by trainers that have receivedinstruction in training methods (i.e., train-the-trainerinstruction) has additional benefits. For instance: General orbackground principles may be taught in addition to the s2ecifictasks involved in the job; Special job aids may be used, such asvideos; and Morale may be improved because the new hire feels thatthe agency has an interest in him.

On-the-job training is important as a means of reinforcingwhat the trainee has learned in the classroom. It is on-the-jobthat the trainee will learn to incorporate his newly learned skillsinto his working habits. Without this element, the formal trainingprogram may be seen as a perk rather than a means of improvingperformance.

4

As employees are promoted in the rail agency, they are morelikely to be sent to special training programs; for example, arecent article on freight rail supervisors indicated that the

majority of the supervisors were sent to management training

courses. However, the respondents indicated that the mostimportant source of information was still on-the-job training. (1)

1.3 Study Approach

The project had two basic parts. In one part, the existingtraining and the training needs at each of the five agencies wasdocumented through case studies. A synthesis of mutual needs wasthen derivad from the case studies. This became the basis fordeveloping a program of sharing or coordinating training among the

agencies. In the other part, different approaches and innovativeideas in training were documented. These provided ideas on how the

five agencies might share or coordinate their training.

As a first step in the project, the study team met withrepresentatives of the training departments of the five agencies

as a group to explain the project to them, to get their reactions,

and to get their views on their agency's training needs and which

of these would be best met regionally. The discussion at thismeeting ranged over many issues such as changes in the labor pool,

the development of career path programs that might start with highschool students, and use of retirees as trainers.

The study team then met individually with a liaison from eachagency to get an overview of training at their agency. A two pagechecklist of information to be obtained was used to guide theinterviews, but other than that they were open-ended.

Then in-depth case studies of training at each agency were

started. New Jersey Transit was the first agency to be studied.From April to September 1988, individual interviews, typicallylasting about two hours, were conducted with the heads of all the

major operating departments and of other people that had

information or insight relative to training. After all theinterviews at the agency were complete, a composite description of

training at the agency was 'written, with a final section on

training needs. The composite descriptions drew on other material

(e.g., previous needs assessments) when available.

After the composite description of training at New JerseyTransit Rail Division was finished and reviewed by key people atNew Jersey Transit, the study team repeated the process at PATH in

February and March 1989. Information in this report generallyreflects the organizations at the time of the interview. There

have been reorganizations and other changes since that time.

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17

The intent was to repeat this process at the three MTA railagencies; however, due to factors outside the control of the studyteam, the case studies of the individual agencies had to hediscontinued at this point. Less detailed descriptions of trainingat the three MTA rail agencies were written based on-the initialinterviews with training department representatives andsupplementary documents.

Chapter 2 provides summaries of the training and trainingneeds at each of the five agencies. More detailed descriptionsare contained in the appendices to this report.

After the case studies of training were complete, theidentified training needs for each agency were compared todetermine the areas of mutual need. From the list of the mutualneeds, those training areas that are the best suited to a regionalapproach were identified. Certain guidelines were used toidentify those best suited training areas. For example, trainingtopics in equipment-specific or agency-specific areas wereexcluded. Topic areas where there might be definite advantagesfrom a regional approach were also identified. For instance, aparticular topic might be appropriate to only one or two peoplefrom each area; aggregating these people from all five, agencieswould provide a sufficient class size to provide for effectiveclass size. Another type of advantage that regional training mightprovide is in a topic area where one or several of the agencieshave particular expertise; regional training would allow thesharing of this expertise. A third advantage might arise ifspecial equipment or course development is required; regionalsharing of the costs of the equipment or development would make thecourse less expensive to each of the individual agencies. Theresults of the synthesis are presented in Chapter 4.

After the documentation of training at the five agencies, thestudy team visited other organizations to find innovativeapproaches to training, particularly training rail personnel. Theappropriate ideas from these visits are presented in Chapter 3.

The study team then generated several ideas on coordinatingor sharing training. The ideas were presented to the trainingrepresentatives from the five agencies in a group meeting. Theobject of the meeting was both to provide an opportunity for thetraining representatives to discuss the ideas, but also toimplement one of the ideas, specifically periodic meetings of theheads of the training departments to share problems and ideas, thatis, a form of networking.

One aspect of the timing of the project is important to theunderstanding of changes that have taken place. The first meetingson the project took place in early 1987. At the time the nationaland regional economies were both strong. Some of the ideas for acoordinated approach to training were quite long sighted; for

6

example, a regional institute for rail training was considered, as

were programs to develop interest in rail careers among minorityhigh school and junior high students. Since that first meeting,

both the national and regional economies are in recession and the

States of New Jersey and New York as well as most of the cities in

the region have severe budget deficits. Similarly, all five of the

agencies have budget difficulties. As a result, the types of ideas

that are feasible for implementation in the near future havechanged to those with low cost or with immediate returns inimproved productivity or efficiency.

7 1.9

Chapter 2: Training in.Regional Rail Transit Agencies

2.1 Overview

As stated above, the five transit rail agencies employ over50,000 people which represent about two thirds of all transit railemployees in the United States. The agencies are alike in thatthey provide mass transportation to people within a metropolitanarea, they have similar patterns of ridership in that they all havelarge peaks based on journey to work commutes, they are operatingin the same regional environment with many of tl.e same problems(e.g., dealing with the homeless in stations, fare evasion), andthey all have major deficits funded from public funds in a regionthat currently has major public budget problems. On the other handthey differ in many ways also. They range in size from the NewYork City Transit Authority (NYCTA), the largest transit agency inthe U.S. and one of the largest employers in New York, withapproximately 37,000 employees in the rail division (internallycalled the Rapid Division) and about 50,000 overall in bus and railto the Port Authority Trans-Hudson Corporation (PATH) with about1300 employees. Table 1 presents employment and other sizeinformation on all the agencies.

Three of the rail agencies, New Jersey Transit (NJ Transit),Long Island Railroad (LIRR), and Metro North Commuter Rail (MNCR),are conventional commuter railroads; they use intercity railequipment (both diesel and electric), have stations spaced atseveral miles in outer areas, use conductors to collect tickets onthe train, have distance-based fares, and predominantly providetrips from suburban areas into the Manhattan central businessdistrict (CBD).

NYCTA, on the other hand, is a typical subway system; it usesheavy rail equipment, has stations spaced at half mile andsometimes shorter spacing, charges a flat fare to enter the system,and provides relatively short trips and many non-CBD orientedtrips, although there is a large flow into midtown and downtownManhattan during the rush hours.

PATH represents a hybrid of subway and commuter rail. In mostcharacteristics, PATH is a subway. It uses heavy rail equipmentand charges a flat fee to enter the system. However, its ridershipis dominated by commuters from suburban (or other urban) areas toManhattan. Its stations in Manhattan are relatively close togetherbut stations in New Jersey are further apart.

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Table 1Comparative Data for Five Agencies

(1987 Data)

MTA subsidiariesNJT PATH MNCR LIRR TA

Employees 3,856 1,324 6,108 6,868 37,052

Vehicles 646 241 701 105 4857

Track (miles) 767 37 758 701 684

Number of stations 151 13 105 136 463

Operating expenses($1000,000) 247 104 375 490 2,072

Vehicle miles(1000,000s) 31 12 32 51 306

Passenger trips(1000,000s/yr) 43 70 55 92 1,614

Average speed(mph) 35.7 15.6 33.9 30.4 18.2

Ave. Pass. triplength* (miles) 23 5 28 21 4

Avera- passenger trip lengths were derived from data in the

1986 Secti,on 15 data because some of required information wasmissing from the 1987 data base.

Source: 1987 Section 15 Annual Report

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All five rail agencies are part of a larger publictransportation agtncy. Each of the five also has previouslyexisted as an individual agency or several individual agencies.For all of the agencies the relationships with the larger andsister agencies have not finished evolving. Representatives ofseveral spoke of the need to evolve common cultures. On thepositive side, the relationships with parent agencies allow forjoint training efforts within these vertical related agencies.

New Jersey Transit Rail Division is part of New Jersey Transitwhich includes a larger bus division and an corporate division thatis responsible for planning and policy. NJ Transit, is in turn,part of the New Jersey Department of Transportation, which alsoincludes the highway department. NJ Transit was formed in 1981through 1983 from several bus companies and the New Jersey commuterrail operations of Conrail.

PATH is a subsidiary of the Port Authority of New York andNew Jersey, which is responsible for the airports and maritimeports, and more pertinently, trans-Hudson bridges and tunnels, themajor New York CIty bus terminal, and one ferry service. THe PortAuthority, unlike any of the other agencies in the group, also hasresponsibilities for non-transportation activities such as economicdevelopment.

The NYCTA rail division has a sister bus division within theNYCTA, but unlike NJ Transit, the rail division dominates theoverall agency. Further, NYCTA, Metro North, and LIRR aresubsidiaries of the New York Metropolitan Transportation Authority(MTA), which has other transportation subsidiaries, including bus,rail, and a bridge and tunnel authority. NYCTA is a relatively oldagency, having been formed in 1953 out of three separate subwaysystems and many bus companies.

The LIRR has probably existed the longest as an autonomousagency. On the other hand, Metro North was formed in 1983 fromConrail commuter rail operations in New York. All three agencieswere made subsidiaries of the MTA in 1965 or later.

2.2 Training at New Jersey Transit Rail Division

The Rail Division is one of three subsidiaries under theCorporate Division. The other two subsidiaries are the BusDivision and Mercer (a recently absorbed bus company). NJ Transitwas formed in 1981 and the Rail Division was acquired from Conrailin 1983. One problem that NJ Transit is still overcoming is toblend the corporate cultures of the four separate divisions intoone corporate culture.

NJ Transit experiences high turnover among management andprofessional staff because they have a relatively low salary scale

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for the region. This problem is even greater for Rail Divisionmanagers because the Railway Retirement System results in theirhaving lower take home pay than the other divisions.

Rail Division Background Information

NJ Transit Rail Division policy on hiring is to post allpositions internally first. If there are no qualified applicants,they advertise the position externally. There are no positionsthat are specifically designated as entry positions. NJ Transithas problems filling craft positions, partly because of theirrelatively low wage scales and also because, at the time of theinterviews, the region was undergoing a building boom.

Applicants for jobs are tested for specific skills. There islittle testing of already employed people, other than FRA mandated

testing. Many of the union contracts prohibit testing.

The rail division has high turnover among management people

(discussed above) and among trainmen and track workers. The

turnover problem among newly hired trainmen appears to be due tothe long period that trainmen are on call seven days per week.The Rail Division anticipates a problem due to a large number ofretirements in the near future.

Management Training

The Corporate Division has a training department which isresponsible for management training and also training of theclerical staff. Managers from all divisions may take any of 18

courses on a volunteer basis.

Rail Division Training

Most formal training within the Rail Division is done by theTechnical Training Division of the Human Resources Department;training connected with the Book of Rules is done by the RulesDepartment. However, a large proportion of the training is done

informally on-the-job, and therefore does not come under the

TechniLal Training or Rules Department.

The Technical Training Division was in the process of

developing separate training modules for supervisors in each ofthe Rail Division operating departments.

Transportation Department

The Transportation Department includes all on-board personnel(locomotive engineers and trainmen) and the dispatchers. This

department has the most formal training of any of the operatingdepartments. The most extensive training is for new engineers.

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They receive a formal four module training program that takesapproximately one year. The training program entails six exams.Existing engineers also receive a three day refresher course. Newtrainmen receive a four week course in equipment, operating rules,and customer relations. Existing trainmen take a two day refreshercourse. Dispatchers have been recruited from block operators andtherefore are familiar with the system before moving into thedispatcher position; however, with the change over to CTC, blockoperators are being phased out. Since the interviews, NJ Transithas started a training program for dispatchers.

The training and training-related needs in the TransportationDepartment include more management training, training ofsupervisors, particularly in the area of how to train, and somemeans of dealing with the high turnover problem among trainmen.

Mechanical Department

The Mechanical Department includes the maintenance of allrol]ing stock. All entry level people receive an orientationprogram that lasts from two to eight weeks depending on the craft.The Mechanical Department may start an apprenticeship program forthe various crafts.

This department has difficulty finding qualified electricians;they test extensively before hiring, provide some electrical andelectronics training during orientation, and have a series ofcourses on electrical components and electronics for electriciansto take. Electrical technicians are responsible for on-the-jobtraining.

Training and training-related needs include more supervisoryand management skills (some of which should have been addressed bythe new supervisory program); craft skills, particularly electricaland electronics skills and machinists skills; welding, and computerskills. Training in the Mechanical Department also suffers becausesupervisors have trouble releasing personnel who have beenscheduled for training to actually take the time from their jobsto attend the training programs.

Engineering Department

The Engineering Department includes maintenance of track andstructures, signals, communications, power, and support equipment.Each group receives a brief orientation program which coversorientation to NJ Transit and rail roads, safety, and some craftspecific training. Workers in electrical and electronics craftscan take the same courses that are available to those crafts in theMechanical Department on a volunteer basis. NJ Transit was in theprocess of setting up a signal school. Inspectors receive rulestraining from the Rules Department. Most of the remainder of thetraining is on-the-job.

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Training and training-related needs in the Engineering

Department include upgrading signal training as signals become more

complex, new technologies (e.g., microwaves, giber optics),

computers, the handling of support equipment, and supervisory

training including safety, safety training, managing diverse

people, grievance handling, planning and carrying out a job, and

providing on-the-job training. They also have a problem with

turnover among track workers, the lowest skilled job.

Stations and Facilities Department

The Stations and Facilities Department, the smallest of the

four operating departments, includes ticket sales, station

maintenance, and terminal operations (i.e., landlord activities).

For ticket sales positions, they try to hire people with experience

in dealing with the public and handling money (e.g., working for

McDonalds). New hires in ticket sales receive a one day course

in the three computer systems they handle. The have started a one

day course in dealing with the public, communications, and stress

control. For station maintenance they try to hire people with

janitorial experience; there is high turnover in this position

(apparently because the position is seen as low status). The

station maintenance personnel receive several one-day training

modules in cleaning materials, tools, safe use of materials, etc.

The positions in terminal operations are all non-ag-eement. The

personnel are being sent to night school in property management.

Training needs include math, computer skills, AC repair, andrail-station-specific property management skills.

2.3 Training at Port Authority Trans-Hudson Corporation

Port Authority Trans-Hudson Corporation (PATH) came under Port

Authority of New York and New Jersey (PA) in 1962 as a wholly owned

subsidiary. Prior to that, the railroad was operated by the Hudson

and Manhattan Railroad, a private company. Its early days as a

mail carrier puts PATH under the Federal Railway Act and requires

PATH to be a separate corporation within the Port Authority.

PATH is connected to its parent organization as a subsidiary

and the executive director of Port Authority serves as president

of PATH. This gives PATH access to all PA services including the

law department, MIS department, etc.

Entry into the PATH System

Entry into the PATH System occurs primarily from two

positions: passenger information agent and trackman. In order to

create rosters of qualified applicants for the two positions, PATHconducts massive testing every 2-3 years. During the interval

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between tests, hiring is done from the rosters. Since PATH has apolicy of training and promoting from within, turnover isrelatively low and a relatively high priority is given to training.

PATH Training

Responsibility for training at PATH is located in the PathPersonnel Unit under the office of the Training Administra4-or.This office is relatively new (1986) and does its own assessmentof training needs as well as delivery of programs. Furtherresources for training are provided by the PA particularly atmanagement levels. The training ranges from orientation, given bythe recruiters, to technical and supervisory training. Where thetraining is technical, the PATH Personnel Unit will coordinate withtraining personnel in the various divisions or will arrange forexternal resources.

Transportation

This department is a division of Operations and GeneralServices and consists of two units: Train Operations and PassengerServices. Train operations covers all on-board personnel (e.g.conductors, motormen, trainmasters, etc) and dispatchers.Passenger Services positions include information and communicationagents as well as account clerks, who have responsibility forcollecting and accounting for fare revenue.

Train Operations

Technical Training. For most of the positions in train operations,selection is by both written examination and interview. The firstlevel position in this division, conductor, currently has threeweeks of both classroom and on-the-job training covering thetechnical aspects of the job. Trainees must take a writtenexamination prior to their going on the conductor list so there isevaluation of the training. Both classroom and on-the-job trainingare also in effect for the positions of towerman, switchman,motorman, and dispatcher. However, large components of thetraining for these titles remain on-the-job with the traineeworking with an experienced incumbent. The position of crewdispatcher is trained entirely on the job. For the job tiles ofoperating engineer, assistant trainmaster, and trainmaster, thetechnical side of training is entirely on-the-job.

Supervisory & Management Training. Supervisory training isprovided for the positions of crew dispatcher. Currently nosupervisory training exists for dispatchers although somesupervisory training exists for dispatchers after promotion. Theposition of dispatcher is the first level that can be recommendedto the supervisory academy. The positions of asEistant trainmasterand operating engineer utilize both in-house management courses and

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courses run by various continuing education organizations. One

need noted for oper-c.ing engineers is that of training in labor

relations.

Indications for Training. While the technical training needsappear to be met well, the existence of some attitude anddiscipline problems could stem from the heavy reliance on on-the-

job training in various job titles. The assignment of trainees toincumbents needs to Le done in a systematic fashion to help provide

for the learning of both positive attitudes and proper skills.

Those incumbents selected to have a trainee work along side might

be given a workshop to inform them of their responsibilities in

that position. Finally, the development of supervisory training

for dispatchers needs attention.

Passenger Services

Technical Training. All training in passenger services is done

on-the-job by supervisors. The position of passenger information

agent is a point of entry into the PATH system. Selection is by

written examination and interview. The next two positions in the

Passenger Service area are Communication Agent and Supervisor of

Communication Agents. Promotion to both of these positions is

through accumulated experience and interview. As with passengerinformation agent, no formal training program exists, training is

done by the Supervisors of Communication Agents (or the assistant

station supervisor or station supervisor).

On the accounting side of Passenger Services are the job

titles of Account Clerk II & III, Revenue Supervisor, AssignmentCoordinator, and Supervisor of Account Clerks. Again, all training

for these positions is on-the-job.

Supervisory Training. The Supervisor of Account Clerks does get

some supervisory training but none exists yet for Supervisors of

Communication Agents or Revenue Supervisor.

Indications for Training. Areas that need attention include

management of public for Passenger Information Agents and computer

training for the Assignment Coordinators. As new equipment isintroduced (new TV monitors, etc.) additional training will be

needed. Given the high level of on-the-job training and the fact

that Passenger Information Agent is an entry position into PATH,

attention should be paid to those doing the on-the-job training.

For both the train operations and passenger service areas,the budget has not provided for the desirable time to keepindividuals in training. In passenger services, refresher training

is noted as a need, while in train operations, longer training

programs arc desirable. However, no new training in the technical

area is being planned until FRA implements new operating rules or

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recertification.

Maintenance Services This division consists of three departments:Car Equipment Division, Way, Power, and Structures and Signal andCommunications. The Car Equipment Division is responsible for themaintenance of the rolling stock and is composed of car repair andcar inspection services. Way, Power and Structures is concernedwith the maintenance of track and structures, maintenance ofstations, and maintenance of power. Signal and Communications isresponsible for the design, construction and maintenance of signalsand for all communications in the PATH organization. This coverstelephones, radio communications and intercoms.

Car Equipment Division

Technical Training. The apprenticeship program in this unitcomprises the bulk of the training. The beginning position in theunit is that of car cleaner. This position is frequently staffedby those who enter the PATH System as station attendant. Employeesmay enter the apprentice program from the position of car cleaner.Apprenticing takes place for craft positions and for carinspections positions. Craft positions include: machinist,electrician, and car repairer (welder, crane operator, ACrepairers, and mechanics). The apprentice program is a three yearprogram with both 600 hours of classroom training and on-the-jobtraining. Evaluation is done throughout the program by theexaminations apprentices have to take to continue in the program.

Completion of the apprenticeship program results in promotionto journeyman in either the car repair or inspection side of thedivision. No special technical training appears to exist forforemen.

Supervisory Training.prior to promotionsupervisory academy.Exempt personnel (i.development courses.

Foremen get no special supervisory trainingbut are eligible after promotion for theForemen are encouraged to apply for this.

e., non-union) are eligible for management

Indications for Training. Refresher training for journeymen isneeded. While a recent graduate of the apprentice program ismulti-skilled, journeymen lose familiarity with areas in which theyare not involved. Another technical area that needs training isthat of computer use. Supervisory training is noted for longrange planning and for increased use of participatory management,notably quality circles. "Injury-on-duty" while currently seen asa problem is expected to be less of a problem with the move to anew facility. The move to a new, spacious facility is, however,expected to require enhanced supervisory skills and needs foradditional technical training.

Similar to Train Operations, the Car Equipment Division would

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like to enhance the training budget to permit refresher training.

Way Power & Structures

Technical Training Tha most frequent entry into the PATH System

is in the division of WPS through the position of station attendant

or trackman I. On occasion, if a special skill is needed, PATHrecruits at a higher level but the policy is to promote from

within. All selection is done on the basis on a writtenexamination, interview, and medical examination.

Almost all of the training in WPS is on-the-job. Exceptions

to this are noted in the area of Track where some attend a training

program run by the NYCTA in Brooklyn, but this does not cover PATH

standards. Other training in track includes a four week course fortrack inspectors run by the NYCTA and a new program planned for the

power rail workers. This will be a trades improvement program, not

an apprenticeship program.

Way, Power, and Structures looks for people who have someelectrical training via other apprenticeship programs or from

technical institutes. The position Power Director is noted for

getting refresher training annually. The on-the-job training forthis position lasts for one to two years.

An apprenticeship program is envisaged for the structuralmechanical area for crafts such as carpenters, masons, mechanics,

etc. This is currently all on-the-job training as are the machine

repair and pumps areas. Applicants for these skilled areas oftencome from those who have completed the apprentice program in CED.

Supervisory Training Virtually no supervisory training was noted

in the WPS Division. Although the supervisory academy is open to

foremen, there is less encouragement to attend than from CED.

Indicatoi.s for Training. The need for supervisory training for

foreman who do much of the on-the-job training seems apparent.Additional need for management training comes from the position of

Power Director. Given the high reliance on on-the-job training and

a noted problem of absenteeism among some individuals, close

attention should be paid to those to whom trainees are assigned.

Here too, a workshop for incumbents who are given trainees might

prove useful. The reliance on outside training for electricalworkers might be an area of cralmon need with other commuter rails.

Signals & Communication

Technical Training. The signal area of this division utilizes six

employees to handle the various training programs, mostly in the

signal design area. The training program is a three year programwith both on-the-job and classroom training. Evaluation is throughexamination; two failed exams result in expulsion from the program.

In addition to this program there are refresher training classes

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for signal repairmen at the NYCTA.

Training in the communiceLtion area is primarily on-the-job.This includes job titles o4! repairman I, repairman II, andtechnician. Employees are likely to pursue training individuallythrough trade schools.

Supervisory Training. In the signal area, foremen and supervisorsare eligible for the supervisory academy. Moreover, theinstructors have all had train-the-trainer courses. In thecommunication area, foremen are likely to get additional trainingfrom outside courses.

Indications for Training. In the signal area, the noted problemwas that of attitude. If this is persistent, then perhaps some ofthe participatory management tactics tried in CED could beexamined. The communications director noted the need for trainingin standardized methods of installation, trouble-shooting andmaintaining the equipment for all repairers, not just tradeshelpers. In addition, video tapes of how to repair equipment wouldhelp as a refresher.

2.4 Training at Metro North Commuter Rail

Most training at Metro North is provided or coordinated bythe Training and Development Department (T&DD), which has separatepeople responsible for training in each of the major operatingdepartments. Exceptions are: MIS has a computer training unit;communications and signals does some technical training; Rules (inoperations) is in charge of rules certification and the trainingrequired for rules certification; personnel does a half dayorientation and EAP; and EEO does some equal opportunity trainingand is starting a sexual harassment program.

Evaluation of the training programs is done with coursereaction sheets. T&DD has also recently developed an internalevaluation process. Three T&DD people, not involved with thecourse, go over each course, materials, etc., and do a critiqueand make recommendations to improve the courses.

They develop a new course 1) if something changes (equipmentor process) or 2) if a department has a problem that they thinkcan be solved with training. T&DD has a program developmentsection that works with the department and with the head of therelevant T&DD section for that department. There is a lot of hackand forth between the three during course development. Sometimesa department comes to T&DD with a training need.

There are problems with turnover in MIS and among coachcleaners. There are differences in opinion on whether turnoveramong coach cleaners is because its a bad job or due to poor work

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attitudes. To combat rapid turnover among new hires, MNCR hasdeveloped videos that show the nature of the job (both good andbad features) to be shown to applicants.

Available jobs above the entry level are first postedinternally; if no one within MNCR is interested, they can then hire

from outside.

There is little interaction with training programs of MTA and

other MTA subsidiaries. One exception is an outgrowth of an MTAand subsidiary task force on management development. The taskforce drew up guidelines for management training; since thecompletion of the study, the MTA has required each agency todevelop a curriculum around the guideline. Additionally, MTA hastaken on responsibility for executive training for all of thesubsidiary agencies.

In another area of MTA coordination, MNCR has adapted the NewYork City Transit Authority's right-to-know interactive video disk

program. The employees can use the IVD at the Grand CentralTerminal training center. In another MTA cooperative effort, theNYCTA has adapted the MNCR customer service program. Also, MNCRshares some technical training with LIRR.

Management and Supervision

MNCR runs some assessment centers for specific jobs that are

considered particularly important (e.g., facility managers,

assistant director of training and development, manager of

employment). Skills assessment is part of the management training

program.

They use a management program from a training consultant. It

is run on weekends. Trainees spend a day watching videos; thenthey are given a test which is scored by Princeton. ManagementDevelopment talks with the trainees about their test results andtheir career interests. They will be matched with an individualself-training program. So far, about 150 people have started the

program, through self-selection.

For first line supervisors, MNCR uses a basic supervisioncourse from a training consultant. Supervisors in all departmentsof Metro North will be required to take it. The first departmentto go through the program was Maintenance of Way (MOW). They have

a special program for track foreman which combines supervision andtrack maintenance techniques. The program is approximately fiveweeks long.

In the Mechanical Department, by contract, a foreman can bid

any foreman job. Therefore they need more technical subject matter

in supervision training. The course lasts 14 weeks. With the newcontract (or proposed contract), they will be able to test foremen

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applicants, including for technical knowledge. This will simplifythe training required.

For middle management, they have three programs:

1) Performance management, a two day course, is requiredfor those who supervise non-union employees. They learn to doPerformance Appraisals.

2) Interpersonal management skills is a 3-4 day course oncommunication.

3) Effective writing is offered on a volunteer basis and isalways over booked.

For senior management, they use a training consultant courseon group management. Its a 4 or 5 day course but meets only onceper week. It covers how to run meetings, etc. They pair peoplefrom different departments for the course.

Transportation Department

Assistant conductors receive four weeks of training. Two daysare spent on revenue collection. They receive CPR training, whichis refreshed annually.

Beginning engineers (train operators) receive one year'straining. Most trainees in the first class were Conrail firemen.Since then, trainees have been mostly conductors. There are fewrequirements for applying for the engineer position; selection isbased on interviews and background qualifications. However,testing within the training program is extensive. Training startswith three months of classroom instruction including the book ofrules and air brake instruction. Then they get experience on atraining train, alternating with days on WICAT video tapes whichshow train routes as seen through locomotive windshields. On thetraining trains, they are trained on all MNCR equipment andsimulate stops at all stations as if they were carrying passengers.The final phase of training is six months on revenue trains underthe supervision of an engineer.

Since the initial interviews, MNCR has acquired a locomotivesimulator. It is used for training beginning engineers and forspecial courses such as energy-efficient train operation andsimulation of infrequent events, such as collisions.

The engineers are tested during each phase of training. Inthe final stages of the training program, they are tested by therules examiner and, on the train, by the road foreman. There islittle turnover among the engineers; it tends to be a life longjob. The next possible promotion is road foreman.

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Metro North has started a one .day refresher course for

engineers. It covers rules, new cab signals, and new procedures

and equipment. Additionally, they are required to annually review

air brakes and fuels.

There are two to three days of training for customer

relations. This is one of the first programs that T&DD started.

Now customer relations is part of assistant conductor course. The

customer relations department, rather than T&DD, now t,aches thecourse to their own personnel.

Mechanical Department

Newly hired Coach Cleaners get four days of training, one dayof safety and three days of job-specific training. Newly hired

laborers are trained similarly. New electricians get a four week

course covering the railroad, their work, safety, and equipment.

After training, they qualify for cab signalmen. They try to hire

people with electrical backgrounds, so training is mostly railroad

specific. (Since the interviews, MNCR has gone from a two week to

a 16 week training program for electricians because they were not

able to hire enough with adequate skills.) There is a two week

program for senior car cleaners, moving up to car inspectors.

Finally, they have started a training program for beginningforemen.

English is a problem for custodial workers and coach cleaners.

MNCR has done an English as a second language course. There are

other problems with basic skills which they have not taken on yet.

T&DD staff expect that testing for foremen will bring them out.

Maintenance of Way Department

There is a week long entry program for trade workers which

covers the railroad, safety, spiking, jacking up rail, and changing

ties. There is no refresher training.

Training for signal repairers is done by the MOW department,

not T&DD. It is an ongoing formal program.

Training Needs

The head of training saw the training needs to be a means of

making engineer training program shorter and teaching skills for

supervisors.

The head of T&DD would also like to see a reduction inclassroom training and an increase in computer based training and

self-study.

They have no train-the-trainer course (except for defensivedriving) but hope to develop one next year. They have sent some

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people to an outside program for a course.

Additionally, MNCR is emphasizing customer service whichincreases the need for improved communication skills among allpersonnel who come into contact with the public.

2.5 Training at the Long Island Railroad

The Division of Employee Training and Development (ETD) isresponsible for training at the Long Island Railroad (LIRR). LIRRhas more than 80 training programs, 40-50% of which are mandatedby contract agreement under federal, state or municipal laws. Thecontent, scope, and duration of these courses are also mandated.There are electrical apprenticeships and training programs forsignalmen and for train handling (locomotive engineers) which last15 months. The programs concentrate on physical characteristicsof the railroad such as location of switches and signal systems.

At the entry level there are training programs for engineerslasting 15 months; assistant conductors lasting 27 days; andapprenticeships for electrical and assistant signalmen composed ofelectricity and electronics lasting a year. There are orientationprograms both for technical workers and management. The emphasisis on safety for craft positions and on awareness of the LIRRsystem for managerial positions.

LIRR has no career path program, but does have a managementtrainee program. The management trainees are assigned to projectsand will be trainees for one year during which time they getexperience in operating and support departments.

LIRR is grappling with the problem of retirements due to anew tax law. Anyone employed after 1988 who could retire maysuffer a "hit" due to taxes if they do not retire. This could leadto a serious problem for the LIRR if a large number of peoplechoose to retire. If the worst case occurs it would be aparticular problem for the Transportation Department becausetraining for engineers requires a long time. Engineers need to betrained on various equipment, need to know the terrain of thesystem, and need paPsenger and freight training. Engineer trainingnow consists of riding with engineers. The training staff alsorides with trainees and with engineers.

Most positions are filled through promotion within theorganization. The internal recruiting process includes looking atabsence and disciplinary records. Applicants are interviewed butdo not have to take any employment tests.

Evaluation forms are used for course materials. In craftareas, trainees are evaluated by quizzes. This ties intoperformance evaluation by the employee's supervisor. The

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performance evaluations are reviewed by management.

The schedule of course offerings is based on requests fromdepartments. The head of training meets with department heads todetermine an annual proposed schedule. From this, he develops abudget and final schedule.

Transportation

LIRR trains 18 - 25 locomotive engineers a year. Most comefrom the Transportation Department. Once they are in the program,they need to pass tests along the way. At the end of the program,the rules examiners test conductors, assistant conductors, andengineers. Recertification is done every three years. LIRR isconsidering purchasing a locomotive simulator.

LIRR has special programs for minorities and women. As aresult of a consent decree, LIRR offers courses in basic literacy,craft skills, tools and math to provide workers with basic skills.In Operations, courses cover rules and physical characteristics andhow to study these on your own. For supervisors there is a programfor gang foremen in maintenance of equipment department. Thesecourses resulted from litigation from minority groups. There isa task force to look at the problem of both training needs anddisplacement.

LIRR uses self-directed learning books and audio cassettesand hope to video tape the physical characteristics of all branchesof the LIRR. They have developed their own programs and obtainedWICAT equipment, through an UMTA grant, for signal training.

The requirements for the conductors' training program includeexperience working on a job with customer contacts and handlingmoney as well as some oral communication skills. Within 32 daystrainees must pass a test of knowledge of rules and physicalcharacteristics. Instruction is both in the classroom and on-the-job. They get training in ticket collection in the classroom andthen are put on the job under experienced trainers of conductors

Mechanical

These is a self-paced course for door circuitry and testingfor M1 and M3 electrical cars. At the Hillside location there areprograms for electronics training and program machines for troubleshooting. These provide individual progress reports that areavailable to the training department. Employees use the machinesduring their lunch breaks. These machines are an adjunct to theregular training programs.

Training needs

Supervisory and management training were difficult areas toaddress when management attitudes were negative. However, nowtraining is evolving, particularly in the management area. Thereis coordination with department heads on an as-needed basis.

Sometimes when planned courses are run, attendance is lowerthan anticipated because supervisors do not release prospectiveattenders. The head of ETD would like to tie programs toperformance appraisals. As needs are identified on performanceappraisals (such as "needs communication skills"), thoseindividuals would be targeted for training.

Vocalized training needs include basic skills in electronics,the use of new equipment, and math skills at various levels.

2.6 Training at New York City Transit Authority (Rapid Division)

The New York City Transit Authority provides both bus and railtransit. NYCTA is divided into various departments; the two thatare relevant to rail training are Operations, and Administrationand Personnel. Rail transit, with approximately 28,Q00 employeesout of a total of about 52,000 within the NYCTA, is theresponsibility of the Rapid Transit Division within the OperationsDepartment.

The Employee Development and Training Division (EDT), whichis in charge of training throughout NYCTA, is one of four divisionsin the Department of Administration and Personnel. EDT has about226 employees, in three divisions: 1) Professional development,including courses for managers, supervisors, and clerical staff;2) Surface (bus) technical training; and 3) Rapid Transit (rail)technical training.

The Rapid Transit department has five divisions: CarEquipment, Track and Structures, Operations, Stations, andElectrical. Each division has a full time training liaison withEDT. In addition, each Division has some training personnel withinthe division. (The interviews which were part of this project didnot cover training within the Rapid Transit Division.) Numbers ofemployees and training positions by division (in 1985) are shownin the table on the next page.

Each division also has a budget for courses from outsideNYCTA. Such courses have to be approved by EDT.

EDT offers 125 courses, each designed for a specificdivision's needs. The bulk of the courses are in Car Equipment.In 1987, EDT trained the equivalent of 52,000 people (i.e.,person-course combination) including 4,000 transit police.

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Table 2Training within Rapid Transit Division

Operations

Trainingpositions

Totalemployees

7751Operating Training and Qualifications 281

Track and Structure 6111Training and Qualifications 2

Car Equipment 6502

Human ResourcesTraining 109Employee Development 4

Stations 5842Human ResourcesOperation Training and Safety 5

Electrical 2770

Human ResourcesTraining 3

The NYCTA will promote from within before hiring from outsidefor positions above the lowest levels. A skills test is requiredfor promotion. However, according to a management study, promotionis based primarily on tenure rather than ability (2). Two typicaljob progressions are: cleaners to maintainer helpers to maintainersand signal maintainer helpers to signal maintainers. The hiringprocess begins with an advertisement in the paper that a civilservice exam will be given. A high school diploma is required.After the exam the applicants are listed in order of their examscore. When new employees are needed, they are taken from the listin order of score.

Promotion to Level 1 supervisory positions requires a writtenexam. Promotion to Level 2 is based on a performance rating. (2.)

The NYCTA has several intern programs. One is the TrainingOpportunity Program (TOP). The East New York High School ofTransit Technology is a vocational school for high school studentswho want to work at the NYCTA. The students work for pay at theNYCTA for 20 hours per week. The NYCTA also has college internswho work at NYCTA for college credit but no pay. Finally, they arestarting a Transit Corps of Engineer program for undergraduatesmajoring in engineering who want to work as an engineer for theNYCTA when they graduate; they receive tuition rebates and summerjobs. This program is run out of the Personnel Department.

Most supervisors received their training for the supervisoryposition on-the-job. Seventeen percent had outside training in aworkshop or academic program.

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They do not have any career path programs but they do haveone 20-week upgrade program; the first week is at ManhattanCollege, the remaining weeks consist of hands-on-experience.

The NYCTA has a goal that 30% of the managers should be womenor minorities. They have no special training for women, but dohave a course call "Strategies for Minority Managers."

There are some mandated refresher courses for safety-relatedskills. For instance, right-to-know training must be givenannually.

Currently performance appraisals are barely connected totraining. However, the performance appraisal form is beingredesigned to include recommended training.

EDT is responsible for training the transit police trainers.Transit police are well integrated in the NYCTA training programs.The program emphasizes sensitivity training and the police's peace-keeping role.

They have a phased training program for new supervisors movingfrom hourly to salary positions. They mix personnel from differentdepartments and each department head speaks to the group. Peopleare chosen for the program by the training liaison in eachdepartment.

The EDT has an evaluation group. In each course, the traineesfill out post-course evaluation or reaction sheets. The evaluationgroup also does a six-month follow-up with the trainees (e.g., haveyou used the course skills on your job?) and talks to the trainee'ssupervisor. They also do course-content tests during the courses,particularly for vendor courses and skill courses. If a person ina course does not pass the course-content test, they will informthe department and let them know what the options are (e.g.,retake).

The MTA guidelines on management training (see Section 2.4)also apply to NYCTA. To meet the guidelines for all managers andsuperv1sors, EDT will have to triple the current managementtraining, which is on a volunteer basis at this time.

Each department has a training budget for outside vendorcourses. They spend most of it on management courses. If thevendor cost is over $10,000, they must issue an RFP and take bids.EDT is supposed to be informed about vendor courses.

They use computer based training, e.g., touch sensitive,interactive video disk (IVD). EDT developed a IVD for right-to-knou training, which Metro North also adapted for their own use.

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They have found that basic skills training provided by NYCTA(i.e., reading and math) has been poorly utilized because peopleare reluctant to self-identify. They try to use individualtraining to allow people to save face. People are more willing toattend outside programs.

Turnover is not a major problem. However 30% of the NYCTAmanagers have 20 years on more and are eligible for retirement.Also as responsibility is extended to lower levels, some peopleare quitting to evade it.

To be hired by the NYCTA requires passing a civil service

exam. Civil service requirements interfere with developing atechnically qualified and motivated management staff.

Training needs

The heads of the EDT Department sees the greatest trainingneed as management skills, basic skills, and literacy. They alsomentioned a need for cultural diversity skills and "AmericanEnglish" for people from other English speaking countries.

Several studies have pointed uut trends and changes that willaffect future training needs (2,3). These include:

Shrinking of the traditional pool of skilled labor which willforce companies and agencies to seek entry employees from non-

traditional sources including a higher reliance on:

minorities, women, immigrants, and underskilled classes.

Increasing technology in the equipment, such as electronicfare boxes and fiber optics.

New (and frequently more technical) operating and managingprocedures, including increasing reliance on computers for

monitoring.

Internal policy of decentralizing authority, which requiresdecision-making at lower levels.

Retirement patterns, which are partly a result of a programthat allows early retirement for employees that are 50 yearsold after 20 years with the NYCTA.

One management study makes found the following needs forsupervisory training and development:

Basic communication skills need to be covered in more depth(e.g., spelling, vocabulary, grammar, etc.).

Supervisors need train-the-trainer courses geared to preparingthem to do on-the-job training

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Supervisors need training in problem definition, analysis,and solution with application to performance of workers andfinding solutions to problems in their units.

Computer application training is required in order to utilizepersonal computers and to learn to interpret and use computergenerated information. Supervisors specifically need skillsin using computer-generated information for monitoringperformance against objectives and expenses against budgets.

Training in planning and budgeting that emphasizes goalsetting, strategy development, budgeting, and resourceallocation and organizing.

The same study suggests other training needs including the growingneed to coordinate with other regional transit agencies. Th5 needis exacerbated by a lack of "cross-fertilization" with othertransit agencies and low level of outside hiring. Also trainingneeds to address the increase in electronic equipment and the largenumber of retirees in the near future.

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Chapter 3: Training, Evaluation, and Innovations

The project included the drawing together of useful andinnovative ideas on training and joint training from the literatureand from other organizations. The training programs at BurlingtonNorthern and Union Pacific were studied for transferable ideas.This chapter presents the best ideas from both sources.

3.1 Model of Training

Development of Training

Training should be viewed as part of the organization's meansof realizing its goals and strategies. Thus, training developmentshould follow a systems approach, as an on-going process that needscontinual modification (4). With this approach, as strategies aredeveloped that guide the entire operation of the agency, trainingshould play a role in realizing these objectives. The objectivesfor training need to be'crystallized from the overall objectivesof the organization as they are developed by the top management.

Instructional programs for training, using the systemsapproach, developed through three phases: needs assessment,selection and design of the specific training programs, andevaluation. The needs assessment phase sets the plan fordeveloping those training programs that are functional to theorganization rather than opting for those that are the latest fad.It is at this step that Goldstein (5) suggests strategic thinkingplays a role. That is, key players in the needs assessment shouldreflect upon and define training outcomes that supportorganizational goals. The second step of needs assessment requiresa detailed analysis of the jobs for which the training is to bedesigned in combination with an analysis of the abilities of thetarget group being hired for these positions.

Given this information base, the second phase proceeus withspecification of the actual training program. Here thedetermination of performance objectives is critical so that boththe most effective instructional techniques can be used to achievethe objectives and so that the third phase, evaluation, candetermine if the entire program is meeting its objectives (6).

Since the goal of training, stated or not, is to have theemployee perform at some specified level of proficiency, evaluationis vital to training's effectiveness. If training is not meetingits goals, the entire organization suffers. Unfortunately, this

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phase of training frequently gets short shrift in manyorganizations and the rail transit industry is no different.

The Evaluation Process

Comprehensive training evaluation incorporates both assessmentof the process and impact of training. Regardless of the type ofevaluation, the evaluation process requires two activities: settingstandards or criteria for measuring success and determining theextent to which the training contributes to achieving thosestandards (5).

Process evaluation. Once a need and its scope have beenidentified, the initial phase of evaluation focuses on issues suchas what type of training would be most useful in ameliorating theproblem, what group should receive the training, is the trainingreaching that group, is the course adequately designed, is thetraining being delivered as planned.

One technique particularly useful at this stage is contentevaluation (7) . The first step requires that job elements (requiredknowledge, skills, abilities) be identified through job analysis.Typically, subject-matter experts evaluate the extent to which thetraining course content reflects the job or skill domain. As anexample, a freight railroad visited during this project, whendesigning a welding course, had it evaluated both by operatingdepartments and by experts in welding.

Such evaluations help insure that the course is job related.Results can demonstrate either training deficiencies or trainingexcesses. Deficiencies result when high priority training needsare omitted from the training program; excesses reflect anunwarranted amount of emphasis relative to the training need. Bothrequire refining the course.

Process evaluation also includes program monitoring todetermine which group needs the training and follows through tosee that the group does in fact receive the training. The firstobjective requires some type of employee diagnosis. This can beaccomplished through employee testiag, performance appraisal, orsupervisory observation. The second objective requires settinggoals for supervisors that tie their employee evaluations to theireffectiveness in getting requisite training for their employees.

Outcome Evaluation. The second phase of evaluation assessesthe outcome or impact of training. This aspect of evaluation seeksto answer the question whether learning took place. Do thetrainees 3-now more at the end of training than they did at thebeginning? Another critical aspect of evaluation deals withchanges in behavior. Is the newly acquired knowledge or skillutilized in the job?

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The issues of a change in learning and a change in jobbehavior suggest the need to evaluate at various times during thetraining program and to follow through with evaluation when back

on the job. While the change in learning can be readily assessedthrough conventional pre- and post-test measures, assessingbehavior changes pose more of a challenge. Failure to use thetraining back on the job could result from its being unrelated tothe job, ineffective, or from a lack of opportunity to practicenewly acquired skills. All merit investigation. Those tacticsfrequently utilized (9) to evaluate changes in employee behaviorinclude certification, licensing, and master job performance.Other tactics, discussed later, involve micro-sampling, controlgroup comparison, critical incidents, and outlier assessment.

utility of Training. While the immediate outcome to beassessed is properly some change in behavior, unless this skillacquisition has resulted in some type of increased productivity orcost savings, there is little justification for the costs of

training. This aspect of evaluation looks at productivity and

financial data.

Models and Examples of Evaluation

Kirkpatrick (9) has suggested four levels of evaluation:reaction, learning, behavior, and results. Each of these typesassess different aspects of the training process and outcomes.Reaction is mostly related to the training process and gages thereceptivity of trainees to the program and the atmosphere in which

the training was delivered. Learning, too, can be a processmeasure in which the course itself is assessed with an eye towardsrevising it to establish more effective training. Learning,however, can be an outcome measure in which the trainee is testedon the knowledge and skills acquired. Behavior refers to ameasurement of job performance. Kirkpatrick (A) notes that justas a good rating on reaction forms does not guarantee that learningtakes place, excellent performance on the training tasks does notinsure that the training will have impact on the way the job isperformed. Finally, results relate to the way the trainingprograms affects overall organizational objectives. These utilitymeasures permit translation of outcomes to figures that permitcomparison between ways of training, between formal training andinformal, etc.

Employee Centered Evaluation. This model of evaluation looksat the impact of training on the individual. Assessment oflearning could be demonstrated by changes in knowledge and skills

pre- and post-training. While utilization of experimental designwith control groups yields the most convincing data on the effectsof training, situations in industry often preclude use of suchcontrols. A more flexible approach to evaluation is that of quasi-experimental design which depends of several pre-test measures

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prior to introduction of the training program. It should be notedthat those rail transit training programs which had apprenticeshipsdid regularly test t'-e trainees on knowledge. Further, FRAmandated testing could also serve as an evaluation check by linkingperformance on FRA tests to training performance.

Besides evaluating performance at the end of training, an on-the-job evaluation is essential to gage whether the acquired skillshave been transferred to the job. The difficulty in doing this isthat most jobs covered by unions do not have systematic performanceappraisal. As a surrogate measure for this, some type ofobservation form might be developed for supervisors to complete oremployees themselves might be trained to keep track of ways thattraining has been utilized in their jobs through the criticalincident technique.

The most promising method, however, of checking on thetransfer of skills is through the use of simulators. Long used inaviation, simulators are just beginning to work their way intolocomotive engineer training. Both Burlington Northern and UnionPacific have simulators and use them for both new engineer andrefresher training. More recently, Metro North installedsimulators and LIRR is planning their introduction. Thesesophisticated devices now give detailed performance indicators inrelation to varied simulated work situations. Simulated worksituations are also being created for dispatchers' jobs. Relatedto simulations is the use of models. The Burlington Northerntechnical training department railroad has replicated portions ofits line to scale and uses it to train and test for signal repair.This allows it to simulate various types of signal failure andobserve trainees' trouble-shooting skills. As more skills aremoved from on-the-job training to systematic training it willbecome possible to evaluate training performance in greater detail.Underlying all attempts to assess performance is the developmentof clear cut performance standards for the job in question.

Course and Program Focused. To evaluate the effectiveness ofa training course or program, one needs to shift focus from theindividual to the group model. In some instances, the evaluationmeasure will be aggregated individual scores to look at how thegroup is doing on average; in others, it may be organizationalindicators that look at time to complete tasks, quality of the workdone, or comparison of this course or program to alternativetraining tactics.

An intriguing technique for evaluating training that can beapplied from medical evaluation is microsampling. In the medicalprofession, microsampling involves two doctors reviewing a sampleof patient charts to identify problems in patient care. Thistechnique could easily be applied to car repair and inspectionunits where a sample of repaired or maintained cars or enginescould be inspected for problems. If problems are identified, then

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procedures for solutions can be determined and re-audits done atlater dates would determine if the problem has been eliminated.

Another technique from the medical profession is that ofoutlier analysis. In medical evaluation, outliers are patientswhose hospital stays deviate from the norm for that diagnosis.This technique presupposes a good data base which providesnormative data concerning the issue. With the proliferation ofcomputers in every area, building such data bases is not

unreasonable.

Outlier analysis lends itself to comparisons both between andwithin rail organizations. Using it within for evaluation of carrepair and maintenance, time to failure would be a good index.Using maintenance information systems for equipment would permitanalysis of those pieces of stock which had both longer and shorterthan the average time to failure. Where information is availablefrom other rail lines between organization comparisons could bemade. While there are obviously factors such as age of theequipment, amount and type of use, and environment factors, thatdetract from direct comparison, these factors can be taken intoconsideration and handled through statistical control.

Outlier analysis can be applied to other areas of railoperation as well. It is useful for analysis of customercomplaints, accident incidents, on-time performance, ridership,fuel consumption, etc.

Organization Focused. In most areas of organizations,requests for new equipment or for increased personnel areaccompanied by projections showing increased productivity ordecreased costs with resulting savings. In human resources,however, the translation of program 1 inefits into dollars is a newphenomenon. Utility analysis involves detailing the cost of allthe factors involved in training and comparing it to the costs ofon-the-job training. To accomplish this, the organization needsto know the amount of time it takes to reach a standard ofperformance for both trained and untrained workers, the differencein performance between the average trained and untrained workers,and the costs of training for the trainee, the trainer and thefacilities. Cascio (4) has worked out formulas which transformthis information into monetary factors. While it is difficult toassign monetary values to the benefits, failure to do so, Casciowarns, will result in training being seen only in terms of costs.

3.2 Innovations in Rail Training and Evaluation

Training

Both Burlington Northern and Union Pacific are notables fortheir close ties their local County Colleges. Burlington

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Northern's Training facility is actually located on the campus ofJohnson County Community College in Overland, Kansas. A buildingdedicated to Burlington Northern's training was the product of acounty industrial revenue bond. The building is leased to thecounty college and in turn Burlington Northern rents space fromthe county college. Burlington Northern uses a combination of'their own training staff and faculty from the county college.

The advantages of using a county college as opposed to a railsite is that it provides a learning atmosphere. This serves as anincentive to rail employees in that they feel as if the company isboth serious about training and willing to treat students in aspecial way. Further, it provides a place for uninterruptedlearning in that the job cannot intervene during the course of thetraining program. Finally, the resources of the college are nowavailable to the rail training program.

Union Pacific is convinced that Burlington Northern's approachis beneficial to technical training and is planning a similar typeof facility on the campus of a county community college. They alsohave developed a correspondence course in electronics using thefaculty of Salt Lake City Community College. This course isvoluntary for personnel in signals and communications. It is basedon a two-year correspondence course but structured to overcome theweaknesses in typical correspondence courses. The course providesfor five face-to-face class sessions, at the beginning and at sixmonth intervals. These face-to-face sessions provide intensivepreview of material to come and review and examination of materialcovered.

The correspondence portion worked was not totally self-paced.Material has to be covered within a specified time and homework hasto be returned to instructors within deadlines. Students areencouraged to call both the instructor and fellow students inworking on course material and homework. They are provided withcourse manuals, basic math texts and various electronic equipmenton which to get hands-on practice.

This course has the incentive of providing college credit uponcompletion and it provides the basis for advancement. For thosewho drop out of the program, no penalty is incurred. These peoplestay at their current position. Union Pacific believes tuat anyamount of education is beneficial to both employee and company.By providing instructor support and occasional face-to-facesessions, as well as a time structure, this program seems to haveovercome problems typically associated with correspondence classeswhere students have too much freedom. On the other hand, studentscan complete their training while staying on-the-job. Thealternative for Union Pacific for this type of training, would beto pull employees off their jobs for at least a semester. Whilethe cost per pupil is high, it is not as high as releasingemployees from their job for a year or having a workforce that is

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outdated in electronic skills.

Evaluation

The Burlington Northern training department reported severalways that it evaluated its courses. It used reaction forms forall courses, but new courses are evaluated for a number of monthswith pre- and post-tests of knowledge and skills. Generally, thesetests indicate a 50 to 60% improvement in knowledge and skills.New courses are also evaluated with follow-through interviews ofsupervisors and trainees about six months after trainees finish thecourse. After this initial phase, only reaction forms are usedsystematically with occasional questionnaires sent to supervisors.

In two instances, the training department used behavioralindicators. One involved a training program (referred topreviously) to reduce fuel consumption. This lent itself nicelyto evaluation in terms of measurable changes and, in fact, fuelconsumption was reduced over 10 percent after the locomotiveengineers completed the program. In another instance, a needsanalysis indicated that only 100 of 840 locomotive electricianswere qualified as electricians. Moreover, locomotives had 28 meandays before failure. With the institution of the new trainingprogram for electricians, the mean time to failure increased to 78days.

The technical training department is currently working on anexpert system for trouble-shooting on air brakes. Technicians willbe trained to use this artificial intelligence system on lap-topcomputers to trouble-shoot problems. The director of trainingnoted that too frequently wheels are changed when the real problemis in the brakes. By training mechanics to use this newlydeveloped system, saving in parts should be realized. The valueof being able to generate performance indicators as a measure oftraining lies in their ease of being transformed into efficiencymeasures and their ready communication to management of the valueof training.

3.3 Mechanisms for Coordination

Several coordinating mechanisms for the training divisions ofthe five rail transit agencies have been considered. Thesemechanisms run from most elaborate in the form of a regionaltransit training institute to simpler administrative activitiessuch as periodic meetings.

At the inception of this research project, the issue of aformal institute for regional transit training was given strongconsideration. The proposal spoke to planning a regional transittraining institute to meet the common training needs of the railtransit agencies in the New York metropolitan region. The proposed

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institute would address training needs at all levels from entrylevel unskilled labor to executives. While this institute may berealized as a long term goal, more "do -able" goals that could bemet in the short term soon replaced this idea. Mitigating againstthe planning for a regional institute were issues such asfinancing, working out a common ground for developing a curriculumand continuing needs for equipment-specific training that wouldstill have to be carried out by each agency.

Another vehicle for coordination exists at the level of highereducation, both university and community college. Under the aegisof the Region II University Transportation Research Consortium,member colleges in the New York-New Jersey area are collaboratingin an Advanced Institute Certificate in Transportation. Thecurriculum has been set so that it is common for all studentsalthough they have the flexibility of enrolling in the mostconvenient institution. Each institution designates someone tooversee the coordination and running of the program.

At the community college level, a coordinated effort could bemodeled on Burlington Northern's partnership with a local communitycollege. The five rail agencies could establish a facility on thecampus of a community college. From a coordinating point of view,this arrangement reduces the financial investment needed from therailroad for the physical plant. Such a setting is more conduciveto other railroads using the facility since the site is a collegecampus rather than a specific rail agency facility. In factBurlington Northern accepts trainees from other railroads.Educationally, the advantage of using a county college as opposedto a rail site is that it provides a learning atmosphere. Thisserves as an incentive to rail employees in that they feel as 4the company is both serious about training and willing to treatstudents in a special way. Further, it provides a place foruninterrupted learning in that the job cannot intervene during thecourse of the training program. Finally, the resources of thecollege are now available to the rail training program.

At the other extreme in terms of resource commitment, thecoordination of training could take the form of periodic meetingsof the directors of the training departments to discuss currentproblers tnd solutions. The cost would be low and no budget isrequired. The directors would share useful information and wouldbecome aware of common problems, thus avoiding the waste ofreinventing the wheel. They could also bring other people in theirorganizations to meetings when pertinent, or they could have themcontact each other when they were aware of a benefit from sharinginformation. By seeing each other formally, the training staffswould feel more comfortable calling each other to share informationinformally between meetings.

More involved joint efforts could grow out of the meetings.For instance, the agencies jointly develop IVDs, as indeed was

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undertaken after the first such meeting of the training directors.THe joint application to federal programs for development ortraining grants is another possible outcome.

Another coordination approach is to expand the practice ofsending personnel to courses offered at other agencies. The firststep in this approach would be to exchange catalogs of courses.Thus, the training directors become aware of what courses areoffered at the other agencies and would be able to identify coursesthat would be useful to employees. The c7acond step would be todetermine which courses would be capable of absorbing outside

students and to establish procedures for registrations and

reimbursement. A procedure for evaluating the training from thepoint of view of the agency that sends its personnel to an outsidecourse should also be developed. A course that meets the needs ofthe home agency well may fail to meet the needs of an outsideagency for any of several reasons. Because the outside agencyincurs additional costs by having the employee off the job longerand having to pay travel expenses, they have a greater need toestablish the value of the training in meeting the organization'sneeds and plans.

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Chapter 4: Shared Needs of the Regional Rail Transit Agencies

4.1 Commonalities in training among the agencies

All of the rail agencies studied were part of larger regionalpublic transportation organizations. Further, all of the railagencies had started either as independent private firms or as partof a larger, private interregional rail companies. In most casesthe last major change or merge in organization had occurred withinthe last two decades, and some of the long-time employees still hadambivalent attitudes toward the larger organization. Severaltraining managers spoke of the problem of developing a commoncorporate culture within their agency.

Each agency had a training division within the human resourcedepartment. The training division generally dated from shortlyafter the shift from the private to the public sector. All of thetraining divisions were still expanding and the training managershad lists of courses or programs that they planned to develop. Inall of the agencies a substantial amount of training, particularlytechnical training, was done outside the training division, mostlythrough on-the-job training, but also through other departments,such as Safety or Rules Departments. Long standing trainingprograms that had been developed in response to FRA regulationswere often left in the departments that had originally developedthem.

The extent of centralization of training within the trainingdivisions varied. In one agency, the training division dealtprimarily with management and supervisory training. In others itprovided all levels of training from laborer, through craft andtechnical, to managerial training.

The amount of training provided to the various operatingdepartments differed. Generally, the transportation departmentsand equipment maintenance departments had the most extensive rangeof courses, and their employees tended to receive the mosttraining. The track maintenance departments tended to receive theleast.

For union-level positions, the agencies tended to promote fromwithin, partially because of union rules. One of the agencies hada management policy of promotion from within. Thus, the majorityof personnel is hired based on their qualifications for arelatively low level job. If the agency is to ensure a qualifiedwork force at all levels of union positions, they have to providethe training or other means for the upgrading of capabilities.

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At managerial levels, the agencies were more likely to hirefrom outside the agency and, for support departments (e.g.,

personnel, MIS, contracts), outside the rail industry. The

differences in promotion and hiring policies for union andmanagerial level positions combined with the requirement of collegedegrees for higher level positions creates a discontinuity at thepoint of transition from union to managerial levels, which usuallyis at supervisory positions. Training managers and heads ofoperating departments frequently mentioned supervisory training as

a major need.

The unions were generally described as supportive of training.However, union contracts at all agencies interfered with sometraining initiatives. At one agency, the unions refused to allowtesting except in a few limited cases. At another agency, a unionhad opposed the implementation of an apprentice program. On theother hand, one union requested more training in order thatmaintenance of new equipment be done in-house rather thanexternally under contract.

All of the agencies provided orientation programs to newlyhired employees. The programs varied in extent, the simplest beingan overview of the benefits programs, some including an overviewof the agencies and safety training, and the more extensive onesincorporating extensive skills training.

None of the agencies had a systematic process of developingcourses and course curricula tied to agency objectives, documentedskill deficiencies, or identified career paths. Some of theagencies had previously conducted a training needs assessment, butnone of them had done one recently. No training manager mentionedorganizational goals as a basis for course development.

Most frequently the contents of new courses were based ondiscussions with department heads. New courses were also developedaround the purchases of new equipment. In these instances, theequipment vendor often developed and offered the first course foroperating and maintaining new equipment. In some cases the agencywould send all relevant employees to the vendor course; in othercases, only key personnel would be sent and they would providetraining to the remaining employees. There were fequentcomplaints about the quality of vendor training, course material,and manuals. The degree of control that the training divisionsexercised over the equipment vendor training varied, but it wasgenerally seen as a problem area.

The scheduling of courses was typically based on informaldiscussions with department heads. Some of the agencies scheduledcourses to occur after hiring for specific positions. At otheragencies, the courses were offered to several employees at a timewhile only one or two were actually moving into a relevant

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position. Therefore, some employees received training in advanceof their actual promotion into a position or after they had beenin the position for a while.

Formal training was a combination of in-house courses by theagency's training department, in-house courses provided by trainingconsultants or equipment vendors, and external programs. Thelatter were most likely to be management programs, but some weretechnical training in rail-specific topics (e.g., bridgemaintenance). The training divisions' involvement in selecting orapproving external courses varied. All of the agencies had tuitionrebate programs, although eligibility rules differed. At oneagency, the employee had to be matriculated in a degree program tobe eligible for a rebate. At some agencies, the course or programtopic had to be relevant to the employee's job, at others anycourse could be approved. Due to budget deficits, at least one ofthe agencies is considering tightening the requirements for tuitionrebates.

For some technical positions, the responsibility for trainingwas largely up to the employee. For example, some communicationsemployees received much of their training through external mail orvocational school programs that they enrolled in on their owninitiative.

Selection of employees to be sent to training programs isgenerally done by department heads and supervisors. The trainingmanagers did not know how the selections were made. A commonproblem was that people who were selected (or self-selected) totake part in a training course sometimes did not attend becausethey were needed in the department on the day of the course. Whilein a few cases this was due to emergencies, apparently it was morecommonly because no plans had been made to replace the employeeswhile they were in training. One response was to over book thecourses.

There were several personnel positions that all the agenciesmentioned having trouble filling; for example, electricians andelectronics workers. The difficulty varied with the relative wagerates paid by the different rail transit agencies. Severalagencies were developing extensive training programs or apprenticeprograms to address their needs for more people or greater skillsin these areas.

Evaluation of training was done primarily through traineesatisfaction or reaction sheets, that is, questionnaires filledout by the participants at the end of the course. Questionsconcerned the quality of instruction, the usefulness of thematerial, and the facilities. The training manager or coursedeveloper sometimes talked to supervisors or managers about thecourse after the first time it was offered.

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Two agencies had formal annual performance appraisal programs

for managers. These programs have the potential of being a sourceof feedback on training needs and the success of training inmeeting employee development needs. At one of the two agencies,the appraisal form had a section for recommendations for trainingand had a place to follow-up on the training recommendations in the

previous year's appraisal. However, the training managercommented that the training needs section was seldom filled out andthe follow-up section never filled out.

The training managers frequently expressed a desire to do a

more comprehensive evaluation, but none of them had plans todevelop one. Given the small size of the training divisions,developing, implementing, and coordinating training left littletime for evaluation by training administrators.

Finally, some of the agencies are currently coordinatingtraining efforts, at least to the extent of sending employees tocourses by the other agencies.

4.2 Common Training Needs

Training needs can be divided into specific skills that needto be transmitted to the employees and the procedures and toolsthat the training departments use in order to train the employees.

Generally, common needs for specific skills where identifiedfrom the responses of the personnel who were interviewed or fromdocuments. In a few cases, the researchers interpreted the needs

from other information. This was true, for instance, in the caseof train-the-trainer skills. Skills that two or more of the fiveagencies indicated that they needed or would like to expandinclude:

ManagementSupervisory skillsBasic skillsMath (more advanced math for specialized personnel)EJ ectronicsElectrical skillsMachinistsComputer skills for supervisors and craft personnelSignalsMicrowaveFiber opticsAC repairProperty management specific to stationsEnglish as a second languageTrain the trainer

The area that there was the most consensus that there was a

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need for more training was in advanced electronics.

There is a tendency on the part of the agency personnel toclaim that the training needs to be either equipment-specific orspecif:A, to the individual agency's procedures. However, all ofthe above skills have generic components in addition to any agencyspecific knowledge. The generic material can be shared, and theagency specific material can be transmitted through a follow-upclass or on-the-job. Either of these procedures can also be usedto reinforce the training and to emphasize that the training is notmeant to be isDlated information; i.e., the purpose of the trainingis to improve on-the-job performance.

Some of the more serious needs are in the area of trainingmanagement, training procedures, and training tools. While theseneeds generally cannot be met jointly, the training managers canbenefit by discussing with each other what they are doing.

Many of these types of needs result from lack of staff andbudget and the fact that upper management and the operatingdepartments often view training as a necessary but peripheralactivity. One result is that the agencies do not have a systematicprocedure for developing courses and curriculum. New courses (andthe schedule of course offerings) typically result from informallystated needs o2 operating managers. Training development is nottied to strategic or management goals and needs assessments are notsystematically done. Thus a related need is greater ties toplanning and the decision processes in upper management and in theoperating departments. For example, the training departmentsshould be involved in plans to purchase new equipment.

Similarly, there is little systematic evaluation of thetraining. All of the agencies need to develop methods ofevaluating both the effectiveness of the training and the resultingskill level of the trainees. In some cases, the agencies arehampered in the latter by union resistance.

Systematic evaluation can also contribute to the integrationof the training department in strategic planning by otherdepartments by showing other managers the contribution thattraining can make to their goals.

Similarly, the agencies need to do more long range planningfor the development of the work force. Two long range issues thatneed to be given some consideration are the development ordiscovery of a labor pool from which to draw future workers andthe development of career paths for the systematic internalpromotion of employees.

Another need is a mechanism to increase union and workercooperation and involvement in training. The training departments

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could benefit through greater input from the floor on what skillsare needed. And by involving the workers and the union in planningand curriculum development, the training department will bebuilding better understanding of the advantages of training andevaluation to the individual as well as the organization. Oneresult of this understanding might be more acceptance of, if notactual support for, both training and evaluation.

A common problem of the five training departments is excessive"no shows," in some cases reaching 50% of the personnel that havesigned up and confirmed for courses. This may be related toattitudes toward training in the operating departments.

Some of the agenci4s have a need to match the timing ofcourses to the employees who need the training. Because of thesmall number of people who may need training in a specific skillat a given time, they may have personnel taking the course inanticipation of promotion or after they have been in a positionfor a year.

Ensuring that equipment vendors provide adequate training andmanuals is another area of common need. At least one of theagencies has had some success in improving vendor performance inthis area through required review of materials by the trainingdepartments and more strict enforcement of the contract. This isan area where shared experience might be of great benefit to theagencies. They may also be able to enforce better performancethrough joint pressure on the vendors.

And finally, while some of the agencies see greatpossibilities in expanding their training capabilities through theuse of interactive video disks, the costs of development of thesoftware and videos inhibits a more rapid expansion in this area.To the extent that IVDs on common topics can be used, thedevelopment costs can be shared between several of the agencies.

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Chapter 5: Recommendations and Conclusions

5.1 Benefits of Coordinated Training

The gains to be realized from coordinated training range fromthe more obvious savings in costs, both monetary and personneleffort, to an increased sense of professionalism among theworkforce, to innovation and diffusion of new ideas. Otherbenefits stemming from coordination of training include thatability to enhance training through expanded course offerings,joint use of new educational technologies, and an heightened statusof the training department by increasing the size of the trainingeffort. As the pace for new skills among the workforce quickens,training takes on greater importance in the strategy of theorganization and benefits of training magnify.

The realization of savings from coordination stems from thereduction of redundancy in training, increasing the size oftraining classes, shared costs in course development, and sharedequipment for training (both simulators and educationaltechnologies such as interactive video disk). Using hospitals asa example, the spiraling costs attached to medical technologieshave caused those who regulate hospitals to allocate differentcapabilities to various hospitals. In this manner, adjacenthospitals do not duplicate each other in efforts and patients aredivided between hospitals in an inefficient manner. Using this asa guide, we can envision various rail agencies developing trainingcapabilities in different specific areas so that there is lessoverlap when it comes to expensive equipment. The reference isalways to generic types of training that are done by each of therail agencies and are not specific to the type of equipment usedor to organizational policies or procedures. As part of this,there is also a reduction in redundant personnel effort so thattraining personnel are freed to develop a wider range of coursesor to implement more meaningful course and program evaluations.

The other major benefit to be derived from cooruinatedtraining stems from the infusion of new ideas and the increasedstatus attacheU to training and to the workers as they developcontacts with personnel outside their own agency. Coordinatedtraining, through the mechanism of training directors' meetings,provides the various training directors with ideas that havealready been developed in other agencies. It also encourages thegeneration of new ideas though joint problem solving.

Enhanced status of training through increase of the size andscope of the training effort should promote a greater sense of

44

professionalism of the work force. Moreover, this enhanced statusshould redound to the training department and make strategicplanning for training easier. A greater sense of professionalismin the workforce is thought to derive from merging personnel withemployees in similar positions in other companies. This shouldprovide for a more cosmopolitan orientation toward organiza onalissues as the employees recognize that there are other ways tohandle problems and that problems that might appear local are moreregional in nature.

5.2 Long Term Plan

Maximum benefits from a joint training program can be achievedthrough a rail agency/com7-,nity college joint program withdedicated space on the colley campus. Because of the widegeographic area covered by the five rail agencies, they mightdeveloped a partnership with a consortium of communities colleges,for example, one each in Long Island, New York City, and northernNew Jersey. The benefits of this approach include:

The training program would have access to the faculty and manyeducational facilities of the community college.

By joining with an existing community college, the individualagencies in the rail consortium would automatically haveaccess to a campus that was neutral ground without having toinvest money in land and new buildings. As the joint programexpands, they can add buildings at such time as they areneeded.

The program would include some courses specific to rail,taught by experts recruited from the training departments ofthe five rail agencies.

The college campus would be a logical place for theinstallation of complex and expensive training equipment thatthe agencies would share.

It would also allow rail personnel to take courses notspecific to rail, such as management or labor relations.

The rail agencies and the community college could developprograms for rail employees with high school degrees that havemanagement potential but do not have the required collegedegrees. By started at a community college in an atmospherethat the student is already familiar with much of thetrepidation about entering a college program at mid careerwill be removed.

The rail agencies could recruit new employees from the poolof students at the community college.

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5?

by:The community college would also benefit from this effort,

Their students would have access to a new program with goodemployment opportunities.

The rail program would provide a stable program with funding.

However, at this time, this concept would appear to be severalyears away from implementation. Given the current budgetconstraints within the agencies, the training departments have theimmediate priorities of defending their existing programs.Programs that require large investments of money, even those withlarge future returns in increased productivity and quality of workforce, will not receive support from management. Further, the fiveagencies are used to working autonomously. Even the three MTAsubsidiary agencies have only begun to join forces on a few issues.Thus, a phased approach that allows the gradual development of acoordinated program is recommended.

Step 1: Networking among the training directors. The first stepis to facilitate communication among the five training departmentson a regular, periodic basis. The managers would meet every fewmonths to discuss mutual problems and trade new ideas and programs.When they discovered areas that would benefit from a joint effort,they could pursue them. One of the immediate benefits of thenetworking would be trading of information on many topics, such asquality of consultants, new software, and working with equipmentvendors. The directors would involve other training personnel inthe meetings as they felt would be beneficial. This phase wouldnot require a separate budget.

Step 2: Joint problem solving. Some of the issues that wouldcome up during the meetings will be appropriate to joint efforts.The training directors would pool efforts and resources for thesolution of specific problems when it is appropriate.

Step 3: Cross registration. The training directors would becomeaware of courses offered at the other agencies both informally,through conversations, and formally, through the exchange oftraining course catalogs and schedules. They would expand thecurrently minimal practice of sending employees to courses at otheragencies, to the extent that there were openings in the courses.This would allow their employees to take courses that the homeagency might not offer or might not be planning to offer in thenear future.

Step 4: Development of new courses. There are several topicsfor which there is a recognized need for training, but for whichthere are not enough people in a single agency who need the

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5

training to warrant a full course. Between the five agencies, oneagency can take the lead in developing the cov.rse with theknowledge that the course will be filled by drawing on personnelfrom several agencies. The directors would develop a policy forcharging for outside people to take the course.

gtep_5:IL,.oprnentofcolleeand'1gUgiaghgpasrggrans. Trainingpersonnel from the five agencies would work with one or severalcommunity and/or senior colleges to develop college degree programsappropriate for rail personnel. This would be a formal expansionof development work already started by the New York City TransitAuthority and John Jay College.

One of the first needs mentioned by the representatives ofthe five training programs was the development of a labor pool fromwhich to draw entry level employees. The group of trainingdirectors could establish an outreach program to make high schoolstudents aware of careers in rail transit. The initial phase ofthis program might simply be visits to high schools to establishawareness. The program might expand to working with regional highschools to develop special vocational programs for rail careerssuch as NYCTA has established in East New York.

Step 6: Rail/community college partnership. As the rail agenciesand community college worked together on developing degree programs(Step 5), they would be establishing the working relations fordeveloping a special rail training program within the collegecampuses, described above.

5.3 Progress So Far

To keep the group of training directors in communication,semi-annual meetings will be held to discuss joint problems andpossible solutions. These meetings will also serve as a chancefor each agency to share catalogs, new courses and new areas to be

developed. As a result of the first meeting, a separate meetingto consider joint development of training courseware on InteractiveVideo Disk has been arranged.

As part of this project, the first of the periodic meetingsof the training directors was held. Metro North hosted themeeting. The training representatives discussed the preliminaryrecommendations of this project, some of the problems theycurrently are dealing with, and recent training initiatives at eachof the agencies. The training representatives discussed all of thepreliminary recommendations (i.e., periodic meetings, exchange of

catalogs, joint development of training material, jointapplications for grants, and working with communities colleges),but they showed the most interest in joint development of training

materials, specifically in developing interactive Video Disksjointly. They agreed to call a special meeting to deal with this

47

topic specifically; the people within the agencies that deal withIVD would attend the next meeting, also to be hosted by MetroNorth.

A second outcome of the first meeting was the agreement tomeet again in the Fall. PATH volunteered to host the secondgeneral meeting. Thus, as this project is coming to its end, thefirst two steps in the long term plan have been taken.

5.4 Dissemination of Findings

The findings of the project have been transmitted anddiscussed with the five target agencies on several occasions, mostparticularly during the final meeting noted immediately, above. Inaddition, the several copies of the final report will be given toeach of the five agencies and the projec team will stay in contactwith the agencies to facilitate coordination in the future.

The findings have been disseminated to the transportationcommunity as a whole through two presentations at the annualmeeting of the Transportation Research Board and through toforthcoming publications:

"Training and Evaluation in Commuter Rail," by C.E. McKnightand N. Rotter, in Transportation Journal.

"Evaluation of Training Programs in Rail Transit," by N.Rotter and C.E. McKnight, in Transportation Research Record.

The investigators anticipate submitting at least two morearticles based on the project for publication.

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References

1. K.H. Horn. "Railroad Operations Supervisors: A Case Study,"Transportation Journal, 1989, 28, 44-55,

2. Management Education Study, New York City Transit Authority,March 1988, Volume I: Supervisory Survey and Volume II:Management Survey.

3. MTA Management Needs Assessment, Final Report, prepared byTPF&C, December 1988.

4. W. F. Cascio. Managing Human Resources: Productivity, Qualityof Work Life, Profits, 2nd Edition, New York: McGraw-Hill,1989.

5. I. L. Goldstein. Training in Organizations: Needs Assessment,Development and Evaluation, 2nd Ed. Brooks/Cole, PacificGrove, CA: 1986.

6. R.F. Mager. Preparing Instructional Objectives. Belmont, CA:

Frearon, 1962.

7. J. K. Ford and S. .P. Wroten. Introducing New Methods forConducting Training Evaluation and for Linking TrainingEvaluation to Program Redesign. Personnel Psychology, 1984,37, 651-665.

8. D. C. Brandenburg. Evaluation and Business Issues: Tools forManagement Decision Making. In R. 0. Brinkerhoff (Ed.) NewDirection for Program Evaluation, No. 44: Evaluating TrainingPrograms in Business and Industry, San Francisco: Jossey-Bass,1989, 83-99.

9. D. L. Kirkpatrick, Techniques for Evaluating TrainingPrograms. Journal of the American Society of TrainingDirectors, 1959, 3, 3-9, 21-26.

61.*U.S. G.P.O.:1993-343-273:80178

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